Regulation A+ Transfer Agent Services

Regulation A has been around for several years, but was not widely used because the rules made raising capital difficult. Regulation A was re-evaluated last year to become "Regulation A+", and now allows companies to raise a larger amount of capital from both accredited and unaccredited investors. New funding limits of $20M for Tier I and $50M for Tier II allow companies to offer and sell more unrestricted and freely transferable securities, allowing for immediate secondary trading. Smaller companies gaining more means to capital is beneficial for small business growth. Regulation A+ is a crucial step forward in allowing smaller companies access to more capital by raising the funding limits.

The SEC mandates that any issuers conducting a Tier II offering under the Regulation A+ rules must engage the services of a stock transfer agent. The transfer agent must be registered with the SEC as outlined in Section 17A of the Exchange Act.

Here are some of the benefits of using Colonial as your SEC registered transfer agent Reg A+ offering:

Professional Transfer Agency: We’ve been in business for over 30 years as a professional transfer agent, registered in good standing with the SEC since our opening. Our focus is on providing quality service, expertise, and innovative technology to help your company manage your investors better. We provide your shareholders with peace of mind, knowing that an independent transfer agent is managing their stock.

Offering Guidance: We can work with your legal counsel to guide you through the complex process associated with Regulation A+ security laws and logistics.

Registered SEC Filing Agent: As an SEC EDGAR filing agent, we can help you file the necessary periodic reports mandated by Reg A+:

Form DOS: Non-public draft Reg A Offering Statement

Form 1-A: Reg A Offering Statement

Form 1-A POS: Post-qualification amendment

Form 1-A-W: Withdrawal of offering statement

Form 1-K: Annual Report

Form 1-SA: Semiannual Report

Form 1-U: Current Report

Form 1-Z: Exit Report

Form 1-Z/W: Withdrawal of Exit Report

Blue Sky Compliance: One of the biggest debates over the new rules of Regulation A+ was over whether these new regulations were subject to state Blue Sky Laws. Eventually a compromise was reached, and adherence to Blue Sky Laws is required under Tier 1 of Regulation A+. However, offerings made under Tier 2 of Regulation A+ don’t require adherence to Blue Sky Laws. If you’re conducting offerings under Tier 1, we can ensure Blue Sky compliance.

If you’re thinking about using Regulation A+ to raise capital, look no further than Colonial Stock Transfer.